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- Tasks: Check client files to ensure compliance and quality standards.
- Company: Join a growing team in financial planning with a focus on quality.
- Benefits: Private medical insurance, life assurance, and flexible work options.
- Why this job: Make a real impact by supporting Financial Planners and enhancing client advice.
- Qualifications: Experience in file checking or compliance within financial planning is essential.
- Other info: Engage in diverse projects and enjoy an agile working environment.
The predicted salary is between 30000 - 40000 £ per year.
You want to join a growing and in-demand team. Playing a critical part in maintaining high-quality standards, mitigating risk, and supporting our Financial Planners in delivering compliant and client-focused recommendations. You will bring a methodical mindset, strong attention to detail, be ready to learn quickly and make an impact. Ready to engage with stakeholders in the business and Compliance, supporting the quality of advice provided to our clients.
Purpose
This role sits within Advice/T&C and is responsible for checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies. You will carry out sample checks, validate documentation, identify gaps or issues, and work with colleagues to ensure corrective actions are completed.
Accountabilities
- You will play a practical role in maintaining file quality and regulatory assurance.
- Typical responsibilities include planning and performing file checks, reporting findings, and helping drive timely remediation.
- Carry out regular sample checking of client files and case documentation against defined checklists and regulatory requirements.
- Conduct suitability assessments across a range of different products (Pensions, Investments, High Risk products).
- Identify documentation gaps, process deviations or compliance issues and record findings accurately.
- Produce clear, concise reports on findings, providing clear feedback to Financial Planners, and collaborating with the T&C team to highlight training needs.
- Involvement in ad-hoc project work or process improvements.
Skills and Experience
- Previous experience as a File Checker or file reviewing/compliance monitoring role within a financial planning or wealth management firm.
- Strong understanding of UK financial planning regulations and FCA requirements.
- Knowledge across pensions, investments, and protection advice.
- Excellent attention to detail and analytical skills.
- Strong communication skills with the ability to provide clear and constructive feedback.
- Diploma qualified (or Chartered status would be advantageous).
- Hold a Pension Transfer Advice qualification or be working towards.
- Equity Release and Long Term Care exams are desirable.
Our agile working environment means you will engage in varied tasks and projects, keeping work interesting while you build technical skills and progress your career.
File Checker - Financial Planning in West Bromwich employer: atomos wealth
Contact Detail:
atomos wealth Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land File Checker - Financial Planning in West Bromwich
✨Tip Number 1
Network like a pro! Reach out to people in the financial planning industry, especially those who work at firms you're interested in. A friendly chat can open doors and give you insights that might just land you an interview.
✨Tip Number 2
Prepare for interviews by practising common questions related to file checking and compliance. We recommend role-playing with a friend or using online resources to get comfortable with articulating your thoughts clearly.
✨Tip Number 3
Showcase your attention to detail during interviews. Bring examples of how you've identified gaps or issues in previous roles. This will demonstrate your methodical mindset and ability to contribute to maintaining high-quality standards.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace File Checker - Financial Planning in West Bromwich
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience mentioned in the job description. Highlight your attention to detail and any previous experience in file checking or compliance monitoring. We want to see how you can bring value to our team!
Craft a Compelling Cover Letter: Use your cover letter to tell us why you're passionate about financial planning and how your methodical mindset aligns with our goals. Share specific examples of how you've identified gaps or issues in previous roles, as this will show us you're ready to make an impact.
Showcase Your Communication Skills: Since you'll be providing feedback to Financial Planners, it's crucial to demonstrate your strong communication skills. Use clear and concise language in your application, and consider including examples of how you've effectively communicated findings in the past.
Apply Through Our Website: We encourage you to apply directly through our website for a smoother process. This way, we can easily track your application and ensure it gets the attention it deserves. Plus, it shows us you're keen on joining our growing team!
How to prepare for a job interview at atomos wealth
✨Know Your Regulations
Make sure you brush up on UK financial planning regulations and FCA requirements before the interview. Being able to discuss these confidently will show that you understand the compliance landscape and are ready to support the Financial Planners effectively.
✨Showcase Your Attention to Detail
Prepare examples from your past experience where your attention to detail made a significant impact. Whether it was identifying gaps in documentation or ensuring compliance, having specific instances ready will demonstrate your methodical mindset.
✨Communicate Clearly
Practice articulating your thoughts clearly and concisely. Since the role involves providing feedback to Financial Planners, being able to communicate complex information simply will be key. Consider doing mock interviews with a friend to refine your delivery.
✨Bring Ideas to the Table
Think about any process improvements or ideas you could suggest during the interview. This shows initiative and a willingness to contribute to the team’s success. Companies love candidates who can think outside the box and drive positive change!